Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

About the Role

This role involves performing daily, weekly, and ad hoc surveillance analysis using various systems to detect potential market abuse and manipulation. The position requires acting as a subject matter expert for Cash Equities surveillance, assisting with investigations, and ensuring adherence to procedures. It also involves collaborating with IT on new surveillance initiatives and quality assurance of offshore surveillance alerts.

Responsibilities

Conduct trade surveillance for possible market abuse/market manipulation.
Assist with audio and electronic communications surveillance.
Perform advisory aligned surveillance and ad hoc investigations.
Proactively approach systems enhancement and development.
Serve as the main point of contact and subject matter expert for Cash Equities surveillance matters.
Assist with investigations or exchange inquiries.
Ensure surveillance activities are performed according to agreed procedures and frameworks.
Escalate and close out issues in a timely manner.
Work with the EMEA Head of Global Markets Surveillance to identify key risk areas and align Market Abuse functionality with the business.
Prepare trade information and supporting evidence for the MLRO in cases of suspicious trading activity.
Collaborate with Compliance IT to support the development and implementation of new surveillance initiatives.
Conduct quality assurance of surveillance alerts handled by offshore level 1 surveillance teams.
Assist the EMEA Head of Global Markets Surveillance in coordinating periodic management information and performance/risk metrics for the EMEA Compliance department.

Requirements

Maintain a detailed working knowledge of key EU/UK regulatory rules and regulations.
Possess a broad awareness of specific conduct and market abuse regulations.
Have a good technical understanding of key trade surveillance systems, such as Actimize, Bloomberg, and SMARTS.broker.
Regularly attend industry events and seminars to stay updated on regulatory, market, and product developments.
Possess strong Equities product knowledge.
Ideally have previous surveillance or trading experience.
Have a good understanding of the FCA handbook, particularly the EU Market Abuse Regulations (MAR).
Ideally have previous experience using trade surveillance systems such as Actimize or SMARTS.broker.
Possess good attention to detail.
Strong presentation and report writing skills.

Skills

Equities product knowledge
Trade surveillance systems (Actimize, Bloomberg, SMARTS.broker)
EU Market Abuse Regulations (MAR)
FCA handbook
Attention to detail
Presentation skills
Report writing skills

Location

London

Work Type

Temporary
Contract
Full-time

Experience Level

3 Months (Contract Duration)

About the Company

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions.
The firm connects markets East & West, servicing individuals, institutions, corporates, and governments through its Wealth Management, Investment Management, and Wholesale divisions.
Founded in 1925, Nomura is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership.

Equal Opportunity

Nomura is an equal opportunity employer.
We value diversity and are committed to ensuring we best reflect the diversity of the communities we serve creating an inclusive environment for all our employees.
We welcome all applications and do not discriminate on the basis of age, disability, gender identity and gender expression, pregnancy and maternity, marriage and civil partnership, race, religion or belief, sex or sexual orientation.
If you require any assistance or reasonable adjustments due to a disability or long-term health condition, please do not hesitate to contact us.
Nomura is an Equal Opportunity Employer.